As part of an ongoing effort to protect investors in the sale of complex exchange-traded products (ETPs), the U.S. Securities and...
CN Editor
July 20, 2021
FINTECH ADOPTION THREATENS TRADITIONAL SECURITIES FIRMS: FITCH
N.B."S TITLE PROTECTION DROPS ENHANCED EDUCATIONAL REQUIREMENT FOR FINANCIAL ADVISORS
WOMAN SANCTIONED FOR INSIDER TRADING
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
Thank you for the feedback!!
OSC SEEKS TO ENFORCE D&O SANCTIONS
CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.